hcv toolkit for indonesia-engversion-final

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Toolkit for Identification ofHigh Conservation Values

in

Indonesia

by

Consortium to Revise the HCV Toolkit for Indonesia

JAKARTA - June 2008


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Table of Contents

INTRODUCTION............................................................................................... 51.1 The High Conservation Value Forest (HCVF) concept ....................................... 51.2

Development of the HCV Toolkit for Indonesia .............................................. 6

1.3 Revision of the Indonesian Toolkit to identify HCV.......................................... 71.4 Goal of the revised HCV Toolkit for Indonesia ............................................... 81.5 Using the Toolkit.................................................................................. 81.6 Members of the revision team .................................................................. 91.7 Acknowledgements ............................................................................... 9

TERMINOLOGY AND ABBREVIATIONS .....................................................................11HIGH CONSERVATION VALUE AREAS .....................................................................14

3.1 High Conservation Values in Indonesia .......................................................143.2 Goals of Each HCV ...............................................................................17

THE HCV ASSESSMENT PROCESS ..........................................................................244.1 Overview ..........................................................................................244.2

Study Preparation / Preliminary Assessment ................................................26

4.3 Primary Data Collection ........................................................................264.4 Analysis and Mapping............................................................................264.5 Preparation of Reports and Recommendations .............................................274.6 Peer Review ......................................................................................27

STAKEHOLDERS..............................................................................................285.1 Stakeholder Involvement in the Assessment.................................................285.2 Government.......................................................................................285.3 The Management Unit (Company or Government)..........................................285.4 Local Communities ..............................................................................295.5 Non-government Organizations (NGOs).......................................................295.6 The Assessment Team...........................................................................305.7 Universities and Research Institutions........................................................315.8 Public Consultation ..............................................................................31

PREPARING FOR HCV FIELD ASSESSMENT................................................................356.1 Assembling the Assessment Team .............................................................356.2 Secondary Data Collection .....................................................................356.3 Preparation for Analysis and Preliminary Mapping .........................................386.4 Preparing for Consultations with Stakeholders..............................................406.5 Planning for Field Data Collection ............................................................40

PRIMARY DATA COLLECTION AND ANALYSIS ............................................................427.1 Mapping the Landscape ........................................................................427.2 Faunal Assessment...............................................................................427.3 Vegetation Assessment..........................................................................437.4 Social, Economic and Cultural Aspects .......................................................43IDENTIFICATION OF HIGH CONSERVATION VALUES ....................................................458.1 HCV 1. Areas with Important Levels of Biodiversity .......................................458.2 HCV 2. Natural Landscapes & Dynamics.....................................................588.3 HCV 3 Rare or Endangered Ecosystems .....................................................678.4 HCV 4. Environmental Services ...............................................................818.5 HCV 5. Natural Areas Critical for Meeting the Basic Needs of Local People............938.6 HCV 6. Areas Critical for Maintaining the Cultural Identity of Local Communities . 107


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List of Tables

Table 5.1. Stakeholder involvement in an HCV assessment ......................................32Table 5.2. Stakeholders involved at each stage in the assessment ..............................34Table 6.1. Map requirements for HCV assessment in each scale levels............................36Table 6.2. Types and sources of maps that support HCV 4 Environmental Services assessment

..........................................................................................................37Table 8.1.1 Various protected and/or conservation areas in Indonesia based on SK Dirjen

PHPA No. 129/1996; PP No. 68/1998; UU No. 41/1998; PP No. 34/2002 (source: Wiryono2003) ...................................................................................................46

Table 8.1.2 Secondary data resources for assessing HCV 1.1 .......................................47Table 8.3.1.Ecosystem types potentially present in RePPProT classes in Kalimantan and their

status under HCV 3 using the Precautionary Approach.........................................70 Table 8.3.2.Ecosystem types potentially present in RePPProT classes in Sumatra and their

status under HCV 3 using the Precautionary Approach.........................................72 Table 8.3.3. Decision tree to identify HCV 3 using theAnalytical Approach within a

specified Biophysiographic Subunits of an island. ...............................................76Table 8.3.4.Decision tree to identify HCV 3 using the Precautionary Approach(i.e., when

satellite imagery and supporting GIS data are insufficient to use Analytical Approachoutlined in Table 8.3.3) .............................................................................78

Table 8.4.1. Description of data needed and methods used to identify HCV 4...................82Table 8.4.2.Secondary Data Collection for HCV 4.1.................................................86Table 8.4.3. Ecosystems that are important in HCV 4.1 classification and their relationship

with various classes based on RePPProT. .........................................................87Table 8.4.4.Secondary Data Collection for HCV 4.2.................................................89Table 8.4.5Erosion potential assessment based on land depth and erosion estimation. ......90Table 8.4.6.Secondary Data Collection for HCV 4.4.................................................92Table 8.5.1. Stages in the initial assessment of HCV 5. .............................................96Table 8.5.2Sample data sheet that can be used to create a picture of a desaand its

subgroups when assessing HCV 5. ..................................................................99Table 8.5.3.Identification of level of dependency on forest by sub-group. ................... 102Table 8.5.4.Identifying the availability of alternative resources in meeting basic needs... 103Table 8.5.5.Evaluating sustainable forest utilization compatible with managing other HCVs.

........................................................................................................ 104Table 8.6.1. Initial identification of areas important for maintaining cultural identity of

local communities. ................................................................................. 108Table 8.6.2 Distribution of Ulayator forest resources, at the landscape or ecosystem level,

that are linked to fulfilling the cultural needs of a local community...................... 110Table 8.6.3.Collective behavior of a local community in relation to forest resources that are

linked to an ecosystem component forming part of cultural identity for a localcommunity........................................................................................... 112

List of Figures

Figure 4.1. Flow chart depicting the HCV assessment process......................................25Figure 6.1. Study preparation stages ....................................................................41Figure 7.1. Flowchart displaying the process and steps taken to assess HCV presence .........44


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List of Digital Appendices

Appendix 1. List of Indonesian species under HCV 1.2Appendix 2. List of Indonesian species under HCV 1.3Appendix 3. Method for assessing HCV 2.1 Large Natural Landscapes with Capacity to

Maintain Natural Ecological Processes and Dynamics: A case studyAppendix 4. Method for assessing HCV 3 Rare or Endangered Ecosystems: A case studyAppendix 5. Method for estimating erosion risk for HCV 4.2: A case studyAppendix 6. List of birds of Sumatera, conservation status and distributionAppendix 7. List of birds of Borneo, conservation status and distributionAppendix 8. List of birds of Papua, conservation status and distribution

Appendix 9. List of bats of Borneo, conservation status and distributionAppendix 10. List of bats of Sumatera, conservation status and distributionAppendix 11. List of mammals of Borneo (not including bats), conservation status and

distributionAppendix 12. Ecosystem proxy shapefiles for Kalimantan ver 1.0

Appendix 13. Ecosystem proxy shapefiles for Sumatera ver 1.0

Appendix 14. Biophysiographic Region shapefiles for Kalimantan ver 1.0Appendix 15. Biophysiographic Region shapefiles for Sumatera ver 1.0Appendix 16. Recommended formats for HCV reporting


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CHAPTER 1

INTRODUCTION

1.1 The High Conservation Value Forest (HCVF) concept

The concept of HCVF (High Conservation Value Forest) emerged in 1999 as Principal 9 of theForest Stewardship Council (FSC) standard for certified well-managed forest. The HCVF

concept1was designed to help forest managers improve the social and environmentalsustainability of wood production, through a two-step process: first, to identify areas insideor near the forest management unit (MU) with exceptionally important social, cultural, or

environmental values, and, second, to implement a system of management and monitoring toguarantee these values will be maintained or enhanced. A fundamental principal of the HCV

concept is that areas found to support high conservation values are not necessarily designatedno-go protection zones where development is forbidden. Rather, the HCV concept requiresthat development be undertaken in a manner that ensures the maintenance of the values. Inthis regard, the HCV approach can be seen as a planning tool for helping society to achieve a

rational balance between environmental conservation, social justice and economicdevelopment.

Although the HCV concept was originally designed for management of timber productionforests (HPH in Bahasa Indonesia), the concept rapidly gained popularity in other contexts.

Today, HCV is used for spatial planning at the national or provincial level in countries such as

Bolivia, Bulgaria and Indonesia. In natural resource sectors such as plantations, HCV is used asa planning tool to minimize negative ecological and social effects from natural forestconversion. For example, the standard for certified sustainable oil palm developed by the

multi-stakeholder Roundtable on Sustainable Palm Oil (RSPO) requires that development ofnew plantations post 2005 must avoid the conversion of areas needed to maintain or enhanceHCVs present. The HCV concept has also gained traction in the financial sector, with somecommercial lenders requiring HCV assessments as part of due diligence to assess loan requestsin sectors with a history of negative impacts on the environment and local communities.

The HCV concept has thus grown from a tool designed to improve the sustainability of woodproduction with attention to social, cultural and biodiversity issues, into a concept withbroader implications for society. HCV is a means for private companies to realize their

corporate commitments to engage in best practices, often beyond those required bynational laws and regulations; for governments to undertake spatial planning that ensure themaintenance of fundamentally interdependent biological, social, and ecological values thatrequire integrated management; and for progressive lenders to avoid making loans that

1The HCVF concept is often referred to as the HCV approach or the HCV process reflecting itswider use outside forestry and forests


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promote environmental destruction or social collapse. This variety of HCV applicationsillustrates the versatility of the concept, a key feature of its popularity.

1.2 Development of the HCV Toolkit for Indonesia

In the early stages of development in 1999, the HCV concept was difficult to apply due to a

lack of guidance from the FSC. In response to this problem, in 2003 the UK-based consultancyProForest published a document called High Conservation Value Forest: A Global Toolkit.This document provided a fuller explanation of the HCV concept and practical guidance forhow to implement an HCV assessment, albeit in a generic format suitable for use globally.This Global Toolkit recommended that national interpretations, or country-specific Toolkits,

should in turn be created to provide more detailed guidance for individual countries.

Guidelines for Indonesia were thus drafted at the end of 2003, representing the first nationalinterpretation of HCV. The title of this document was The Identification, Management and

Monitoring of High Conservation Value Forest: A Toolkit for Forest Managers and OtherStakeholders. The Toolkit was created by a group of Indonesian and foreign stakeholderswith experience in various aspects of forest certification and expertise in related fields,including social forestry, anthropology, conservation biology, forest ecology, vertebratebiology and forest production.

The Toolkit for Indonesia was a translation of the Global HCVF Toolkit to the Indonesiancontext, produced through a series of workshops in Indonesia organized by Rainforest Allianceand ProForest. It was field tested and published as Draft 1 in August of 2003. The Toolkitencompassed components of the identification, management and monitoring of HCVF in

Indonesia, and was planned for periodic revision and improvement based on the experiencesof practitioners, the private sector, government and other stakeholders.

This original 2003 version of the HCVF Toolkit for Indonesia served a vital purpose, but

overtime became increasingly difficult to use for the following reasons:

! The Toolkit was originally designed to support assessments in the context of FSCcertification for responsible forest management. However, as time passed, the Toolkitbecame the de factomanual for HCV assessment in other sectors as well, including pulp

and oil palm plantations, and for provincial- and District-level spatial planning. Theseapplications required a different assessment approach beyond that outlined in the originalToolkit.

! Use of the original Toolkit by practitioners of various backgrounds demonstrated a lack of

clarity and consistency in key concepts, definitions, and methods of evaluating HCV dueprimarily to:

an inconsistent and unsystematic scope and spatial scale for evaluating various HCVs adaptation of certain features of the Global HCVF Toolkit proved to be inappropriate

for the Indonesian context2

2Substantial differences in nomenclature, classification, and terminology exist between BahasaIndonesia and western languages, where the Global HCVF Toolkit originated.


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imperfections in the translation from English (the language used in the Global HCVFToolkit) to Bahasa Indonesia (the language used in the original Indonesian HCVFToolkit).

! Use of the HCV concept outside the FSC context is viewed by many as high risk, becausethe HCV process as defined in the original Toolkit did not provide adequate social

safeguards, as required by other Principles of the FSC system.

! Broader use of the HCV concept in Indonesia has been controversial at times due toinadequate efforts to raise awareness and understanding about HCV among civil society.The original Toolkit was never approved by stakeholders involved in its planning and fieldtesting, and, as such, its credibility in defining the HCV process has been questioned.

1.3 Revision of the Indonesian Toolkit to identify HCV

For these reasons, in late 2006 a consortium of HCV users in Indonesia set out to revise andupdate the Toolkit to improve its usefulness in Indonesia. The Toolkit revision was initiatedand organized by a consortium of NGO partners under the coordination of the IndonesianResource Institute (IndRI) and Daemeter Consulting, in partnership with The NatureConservancy (TNC), Tropenbos International Indonesia (TBI-I), The Worldwide Fund for Nature

(WWF), Conservation International (CI), Fauna Flora International (FFI) and RainforestAlliance. Financial support for the Toolkit revision was provided by several organizations,primarily TNC, United States Agency for International Development (USAID) and WWF.

The Toolkit revision was intended to (i) provide a logical structure and detailed explanation

concerning the HCV concept and HCV methodology; (ii) provide useful definitions of importantterms and phrases; and (iii) to clarify stages in the process of identifying HCVs, as well as

rights and responsibilities of parties involved. It was agreed that special attention must begiven to the following issues:

the HCV concept embodied in the Toolkit must be refined to accommodate different sectors(aside from natural forest management) to enable general application of the concept

the revision process will be undertaken in Bahasa Indonesia to avoid unnecessary

misunderstandings and confusion, as well as to promote active, wider participation

the revision must be carried out in a transparent fashion involving the broadest possiblerange of stakeholders in a public and accountable manner to obtain maximum understanding

and support for the HCV process in its entirety, from identification to management and

monitoring

This revision was carried out in a participative fashion through a combination of monthlymeetings of two working groups; larger stakeholder meetings in Jakarta, Sumatera,

Kalimantan, and Papua; as well as internet-based discussions3.

3The discussion and explanation of information in the revision process was done via email and two websites. These are www.toolkitrevisionwg1.pbwiki.comfor Working Group 1 andwww.hcvfrevisiontoolkitwg2.pbwiki.com for Working Group 2.


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1.4 Goal of the revised HCV Toolkit for Indonesia

The revised Toolkit is meant to serve as a standard protocol for conducting HCV assessmentsin a manner that guarantees high quality, transparency and integrity of HCV applications. Thisis achieved by (i) explaining the required steps of an HCV assessment in clear and detailed

terms, (ii) defining rights and responsibilities of parties involved, and (iii) providing guidelinesconcerning minimum standards of data collection to produce quality outputs in an efficientmanner. The Toolkit has been written in a generic form to enable use in various sectors,including those of conventional wood businesses, oil palm or pulp plantations, mining andland use planning.

The scope of the Toolkit is limited to identification of HCVs it does not provide detailedinformation on HCV management or monitoring. The Toolkit does provide ManagementRecommendations of each HCV for consideration in the development of management plans

through stakeholder consultation, but it does not provide a detailed recipe for how to manageand monitor each value. These needs will be covered in separate modules that make specificrecommendations for each sector, in particular production forestry, oil palm and wood fiberplantations.

1.5 Using the Toolkit

This Toolkit is divided into eight chapters. Following the Introduction in Chapter 1, there areseven chapters arranged to reflect steps of an HCV assessment. Chapter 2 provides a glossary

of important terms and concepts. Chapter 3 previews all of the revised HCVs. Chapter 4

explains the HCV process, including rights and responsibilities all parties, and includes astepwise explanation of the full HCV process from preparation and identification through tomanagement and monitoring. Chapter 5 provides definitions of the expression stakeholder

and what is meant by the concept of stakeholder engagement. Chapter 6 describes workpreparation and the types of data required for a field assessment. Chapter 7 outlines datacollection priorities and describes methods for primary data collection in the field. Chapter 8provides a detailed, step-wise explanation of methods for identifying and mapping HCV areas.A series of digital Appendices provides additional supporting information.

This Toolkit is organized into modules to enable flexibility for readers to reference sections ofthe document based on their needs and interest. However, it is recommended that any partywho will conduct an HCV assessment read the Toolkit in its entirety to obtain a complete

understanding of methods, data needs and analysis. Readers who wish to obtain a basicunderstanding of the HCV assessment process, but who do not have plans to do an assessmentthemselves, might read Chapters 1 to 5 only. Readers who are only interested in newdefinitions, recommendations, and criteria concerning revised HCVs may wish to read Chapter3 only. HCV assessors with previous experience in conducting assessments can refer to

Chapter 8 for detailed information on the revised values and their identification. It is hopedthat this modular arrangement will increase flexibility of the Toolkit, while at the same timeproduce a logical document that is easily understood.


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1.6 Members of the revision team

The Consortium for the Revision of the HCV Toolkit for Indonesia involved eight memberorganizations: The Nature Conservancy (TNC), WWF Indonesia, Tropenbos InternationalIndonesia (TBI-I), the Indonesian Resource Institute (IndRI), Daemeter Consulting, Fauna Flora

International (FFI), Conservation International (CI), and Rainforest Alliance, in addition to anumber of independent contributors. The revision process was coordinated by Gary Paoli andAisyah Sileuw of Daemeter Consulting. Two working groups were formed to carry out therevision: Working Group 1 led by Philip Wells and Working Group 2 lead by Dicky Simorangkiruntil January 2008, followed by Petrus Gunarso until completion of the Toolkit in June 2008.

A number of people contributed to the Toolkit by writing and/or editing text or providingdata. These are: Gary Paoli, Philip Wells, Aisyah Sileuw, Dicky Simorangkir, Yana Suryadinata,Junaedi Samsudin, Indrawan Suryadi, Alfa Ratu Simarangkir, Deni Wahyudi, Petrus Gunarso,Kresno Dwi Santosa, Edi Purwanto, Prihandoko Sanjatiko, Sulistrya Ekwati, Ucok Sinaga, Ian

Woxvold, Betsy Yaap and Titiek Setyawati.

In addition to those who participated in workshops and web-based discussions of the revision,many people contributed to the development of ideas via discussions with members of therevision team. These include Jonotoro, Patrick Anderson, Dodik Nur Rohmat, Semiarto Aji

Purwanto, Marcus Colchester, Thomas Hidayat, Hendrayanto, Fergus Macdonald, Pete Wood,Fitrian Ardiansyah, Neil Franklin, Paul Hartman, Eli Lorenzo, Thomas Barano, Anwar Purnomo,Cam Webb, Bas van Balen, Mark Leighton, Jeff Hayward, Erik Meijaard, Doug Sheil,Nardiyono, Christopher Stewart, Neville Kemp, Darmawan Liswanto, Scott Stanley, EdwardPollard, Stephan Wulfraat, Arief Budiman, Purwo Susanto, Indra Plantasia, Art Klassen, Marc

Hiller, Albertus Albert, Ian Singleton, Ben Jarvis, I.B.W. Putra, Desi Kusumadewi, AsrilDarusamin, Kartini Susandi, Frank Momberg, Hasbillah, Iwan Djuanda, Susanto Kurniwan, Didik

Prasetyo, David Cassells, Tom Maddox, Agus Salim, Perpetua George, Ruth Nussbaum, RodTaylor and one person who wished to remain anonymous.4

The Bahasa Indonesia version of the revised Toolkit was translated into English by AntoniaGorog and Thomas Barano, with editing and oversight by Daemeter Consulting. A final reviewwas performed by the revision consortium, as well as one reviewer who preferred to remainanonymous.

1.7 Acknowledgements

The Toolkit revision team wishes to thank and acknowledge numerous parties andorganizations who made direct or indirect contributions to the revision process. Throughoutthe revision process, hundreds of participants provided their input and ideas to the revisionteam in meetings, workshops, discussion groups, email polls and commentary concerning

4Note it is the intention of the revision team to acknowledge the contributions of the above-mentionedpersons to the revision process. The list of names, however, should not be construed to imply direct orindirect endorsement of the revised Toolkit by these parties.


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earlier drafts of the revised Toolkit. These contributions came from too many parties to listindividually; we are genuinely grateful for them all.

Funding for the Toolkit revision was provided primarily by three members of the revision team TNC, WWF, and Tropenbos. Field tests of the first draft of the revision were carried out withsupport from PT. Erna Djuliawati. To promote continued improvement of the HCV Toolkit for

Indonesia, the revision team welcomes feedback from readers, users or managers concerningany aspect of the revised document. Feedback can be emailed directly to DaemeterConsulting at [email protected], TNC at [email protected] or WWF at [email protected] .


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Chapter 2

TERMINOLOGY AND ABBREVIATIONS

Agreement on the Arrangement of Forest Areas (TGHK) refers to an agreementamong seven agencies at the national level concerning the designation and use offorest areas and other areas. Currently, revision to the forest use agreement (TGHK) isbeing integrated with the district-level (RTRWK) and provincial-level (RTRWP) spatialplans.

Basic needsare items or services required by humans to meet daily requirements forfood, water, clothing, household tools and materials, firewood, medicine, educationand livestock.

A biotic communityis a group of organisms of the same or different species that sharea local environment. Members of a community interact with features of their sharedenvironment and with eachother either directly (e.g., via competition for nest sites)or indirectly (e.g., via competition for food).

Conservation Area(Kawasan Konservasi) in the Indonesian context refers to an arealegally designated as a wildlife reserve, a nature conservation area, a game reserve ora protected forest.

Culturerefers to a collective identity shared by a group of people or a localcommunity with common values, ideas, beliefs, behavior, ceremonies or rituals,language, knowledge or material objects.

District-level spatial plan (RTRWK) refers to a document detailing a spatial plan (orland use classification) for guiding development planning and for controlling itsimplementation at the District level. This document serves as a compass givingdirection to medium- and long-term development planning, spatial land use andoversight of implementation; aims to ensure integrity, relevance, and balance among

sectors in the plan; and determines the location and function for investment.

Ecosystemrefers to an ecological system comprising all organisms (biota) and thephysical (abiotic) environment in which they live and interact. An ecosystem can be

viewed as the community of all coexisting plants and animals and their physicalenvironment, which together function as an interacting unit with mutually inter-

dependent parts, functioning as a collective whole that in some cases cannot beseparated.

Ecosystem servicesare biophysical services provided either directly or indirectly byan ecosystem and that are important for sustaining life, including humans.

The Forest Stewardship Council FSC is an international organization based inGermany that certifies responsible production of wood products in compliance with


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the FSC standard of sustainability. The FSC standard embodies 10 Principles and 55Criteria.

Habitatoriginates from the Latin word habitatmeaning to inhabit. Habitat is acomponent of an ecosystem or area that supports a combination and concentration ofenvironmental conditions and characteristics sufficient to enable persistence of the

species (i.e., survival and reproduction).

High Conservation Value (HCV)is an environmental, social or cultural attributeconsidered to be of exceptional importance at the local, regional or global level.Definition of these values and methods for identifying them are set forth in the HCVToolkit for Indonesia.

High Conservation Value Area(HCVA)is an area that possesses one or more highconservation values.

High Conservation Value Forest (HCVF)is an area of forest that possesses one ormore high conservation values.

High Conservation Value Management Area(HCVMA)is an area over which one ormore forms of active management is undertaken to ensure the maintenance or

enhancement of one or more high conservation values in the area.

Landscaperefers to a geographic mosaic of interacting ecosystems (or sub-components thereof) whose spatial arrangement and modes of interaction reflect theinfluences of climate, geology, topography, hydrology, soil, the biota and human

activities.

Local communityrefers to a group of people who live in the same area, interact witheach other, and have a common interest/stake in the community and its surroundings.

For practical purposes, in the context of HCV, a local community is a group of peoplewho live in or near a forest area or other natural ecosystem, and who are part of thesame communication network, share a common interest in the forest or other naturalecosystems nearby and have an identifiable connection to or association with the area.

A management unit (MU) is an area that has been formally designated formanagement by a company or community by virtue of a management permit issued byan authorized government body. Examples of such permits include (i) the right to useforest for the production of forest products (HPH, in Bahasa Indonesia) issued by the

Forestry Department, and (ii) the right to explore feasibility and begin development ofan area for oil palm plantation (Ijin Lokasiin Bahasa Indonesia) issued by the localgovernment.

Minimum Viable Population (MVP)refers to the threshold number of individuals belowwhich, under a given set of conditions, a population cannot persist and will declineover time toward extinction. The MVP concept is easy to comprehend in principal butvery difficult to apply in practice, especially in Indonesia, where MVP parameters aresufficiently well known for only a few species, including the tiger, orangutan andelephant.


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Populationrefers to all interacting members (individuals) of a species living in adefined area.

A Protected Area(Kawasan Lindung) in the Indonesian context is a legal statusconferred upon local protection areas(eg coastal regions, riverine environments,areas near lakes/reservoirs and headwaters/upper reaches of a watershed), as well as

wildlife refuges and cultural preservesthat typically cover a much larger spatialextent (eg, terrestrial wildlife reserves, marine wildlife reserves and their waters,coastal mangrove areas, national parks, large forest parks, nature tourism parks, andareas important for cultural and knowledge preservation). Indonesian Protected Areasalso include Protection Forests, peat lands with surface peat layers >3m deep andareas for water absorption.

Provincial-level Spatial Plan (RTRWP)refers to a document that outlines plans forspatial development and its control at the provincial level. As with the District-levelspatial plan (RTRWK), this document functions as a compass to direct long- andmedium-term plans to promote integrity, relevance and balance among districts/cities

of the province to achieve harmony among sectors in the development process; detail

the location and function of investments; set forth strategic spatial plans at theprovincial level; and integrate plans set forth at the district/city level.

The Roundtable on Sustainable Palm Oil (RSPO)is an international multi-stakeholderinitiative concerned with promoting responsible development of the oil palm industry.RSPO promotes the production and use of certified sustainable palm oil throughcooperation among members at different points along the supply chain, fromproducers to consumers, and by initiating a dialog among stakeholders to define

credible, concrete and verifiable attributes of sustainability. RSPO has developed astandard for responsible palm oil that defines social, environmental and financialsustainability based on seven principals.

Spatial planning is a system for planning and controlling the use of space, as set forthin Indonesian law No. 29/2007.

Spatial arrangement(Tata Ruang in Bahasa Indonesia) refers to the structure andpattern of spaces. Spatial structure in human society includes the arrangement of

settlements, the network of infrastructure and tools that support the social economyof a community, as well as its hierarchical structure. Spatial arrangement to supportconservation in the Indonesian context includes the designation of spaces allocated forconservation and those allocated for culture (Indonesian law No. 26, 2007, section 1).

Viable populationrefers to a population represented by individuals of sufficientnumber, condition and gender to enable the population to persist indefinitely, or for a

specified number of years or generations.

Watershedis a hydrological unit defined by topographical limits. It includes the tallestpeaks where rainwater falls, the streams that channel rainwater downslope into largerrivers, the rivers representing tributaries to major rivers, and the mouth of the riverthat finally channels rainwater into lakes or the ocean. Depending on the topographyof a region, a watershed might be classified into dozens or hundreds of sub-

watersheds, sub-sub-watersheds and so forth.


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CHAPTER 3

HIGH CONSERVATION VALUE AREAS

3.1 High Conservation Values in Indonesia

A High Conservation Value Area (HCVA) is an area that possesses one or more highconservation values (HCV). The revised HCV Toolkit for Indonesia defines six (6) HCVscomprising 13 sub-values. These 13 sub-values can be classified into three categories:

(i) Biodiversity HCV 1, 2 and 3

(ii) Ecosystem Services HCV 4(iii) Social and Cultural HCV 5 and 6

HCVs 1-3 draw special attention to aspects of biodiversity present in a landscape of

which the assessment area forms a part. Biodiversity is defined as the diversity ofterrestrial and aquatic organisms and the complexity of ecological interactions ofwhich biodiversity forms a part. HCV 4 aims to guarantee the continued provision ofkey environmental services affected directly or indirectly by management operations

within a landscape. HCV 5 (Basic Needs) and HCV 6 (Culture) draw attention to areas(natural areas in the case of HCV 5) important to local communities, including theirright to preserve or modify traditional lifestyles and cultures, especially thosedependent on forest or other natural ecosystems. The areas (forested or not)

referenced in HCV 5 and 6 are not necessarily defined by ownership rights, but insome cases are more broadly defined to include land use rightswherever they can belegitimately asserted. The assessment and documentation of these community rightsare based on direct consultation with the community.

The revised HCVs for Indonesia are shown in Box 1. Note that to simplify the titles of HCVs1, 2 and 3, the phrase globally, regionally or nationally significant has been removed.The definitions and criteria of the revised values, however, remain broadly consistentwith the definitions of globally, regionally or nationally significant, as outlined in theGlobal HCV Toolkit. This change was made at the request of numerous stakeholders

involved in the revision process, who considered the phrasing unnecessarily complex.


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* Note the phrase globally, regionally or nationally significant has been removed

from the titles of HCVs 1, 2 and 3 to simplify the titles. However, the definitions andcriteria of the revised values remain broadly consistent with the definitions ofglobally, regionally or nationally significant as outlined in the Global HCV Toolkit.

Box 1. The Revised High Conservation Values for Indonesia

HCV 1 Areas with Important Levels of Biodiversity *

HCV 1.1 Areas that Contain or Provide Biodiversity Support Function toProtection or Conservation Areas

HCV 1.2 Critically Endangered SpeciesHCV 1.3 Areas that Contain Habitat for Viable Populations of

Endangered, Restricted Range or Protected SpeciesHCV 1.4 Areas that Contain Habitat of Temporary Use by Species or

Congregations of Species

HCV 2 Natural Landscapes & Dynamics *

HCV 2.1 Large Natural Landscapes with Capacity to Maintain NaturalEcological Processes and Dynamics

HCV 2.2 Areas that Contain Two or More Contiguous EcosystemsHCV 2.3 Areas that Contain Representative Populations of Most

Naturally Occurring Species

HCV 3 Rare or Endangered Ecosystems *

HCV 4 Environmental Services

HCV 4.1 Areas or Ecosystems Important for the Provision of Water andPrevention of Floods for Downstream communities

HCV 4.2 Areas Important for the Prevention of Erosion andSedimentation

HCV 4.3 Areas that Function as Natural Barriers to the Spread of Forestor Ground Fire

HCV 5 Natural Areas Critical for Meeting the Basic Needs of Local People

HCV 6 Areas Critical for Maintaining the Cultural Identity of LocalCommunities


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3.2 Goals of Each HCV

HCV 1 Areas with Important Levels of Biodiversity

HCV 1.1 Areas that Contain or Provide Biodiversity Support Function toProtection or Conservation Areas

The system of protection and conservation areas in Indonesia covers an area greaterthan 22,200,000 hectares (PHPA 1999). All areas were designated with the objective of

maintaining specific landscape features, e.g., ecological functions, biodiversity, watersources, viable populations of animals or a combination of these features. HCV 1.1aims to help ensure that a protection or conservation area meets the specificobjective(s) that motivated its establishment. If the MU (i) has a protection or

conservation area within it, (ii) is thought to provide a biodiversity support function toa protection or conservation area nearby, or (iii) will undertake activities likely toaffect the biodiversity conservation function of a protection or conservation area, thenHCV 1.1 is present in the area. Management activities in the MU must ensure thatthese support functions are maintained or improved.

HCV 1.2 Critically Endangered Species

The purpose of HCV 1.2 is to identify Critically Endangered species that are present in

a MU or nearby and likely to be affected by off-site impacts of the MU. Managementaction must be undertaken by the MU to protect each individual of such species.

Only species included on the IUCN Red List as Critically Endangered (CR) or that meet

the criteria are considered under HCV 1.2. For such taxa, each individual is extremelyimportant as a potential founder/progenitor of future generations, and for this reasonthe persistence of each individual is a shared societal responsibility. It should bestressed that HCV 1.2 management aims to guarantee (to the maximum extentpossible) the survival of each individual of a CR species, whereas that of HCV 1.3 (see

below) aims to ensure the persistence of viable populations through habitatprotection.

HCV 1.3 Areas that Contain Habitat for Viable Populations of Endangered,

Restricted Range or Protected Species

HCV 1.3 aims to identify habitat in or near a MU whose protection is required formaintaining viable populations of endangered, restricted range or protected species.

Populations of species that must be considered in HCV 1.3 include all speciesidentified under HCV 1.2 (Critically Endangered), as well as species consideredendangered or vulnerable by IUCN, restricted range (occurring on one island or partthereof, as appropriate) or protected by the Indonesian government.


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The management aim of HCV 1.3 differs from that of HCV 1.2, in that the focus of 1.3is to identify and manage viable populations, whereas that of 1.2 considers allindividuals of CR species without reference to the associated population and its

viability.

The viability of a population can be assessed based on knowledge of the number of

individuals present in an assessment area, or by drawing inference given the potentialcarrying capacity of available habitat in the landscape of which the assessment areaforms a part. The assessment of HCV 1.3 must be done with great caution to avoidconcluding that a population is non-viable when in fact it is viable. If one or moreindividuals of HCV 1.3 species are known to occur in the assessment area, thepopulation is assumed to be viable until analysis of field data demonstrates that the

number of individuals and/or total extent or condition of habitat render thepopulation non-viable.

HCV 1.4 Areas that Contain Habitat of Temporary Use by Species or

Congregations of Species

The purpose of HCV 1.4 is to identify keystone habitats in a landscape usedtemporarily by groups of individuals or species. A few examples of keystone habitats

are (i) breeding or nesting areas such as caves or wetlands used by bird species, bats,or reptiles; (ii) areas along important migration routes; or (iii) local wildlife corridorswhere individuals can move as needed among ecosystems as dictated by seasonalavailability of food. Keystone habitats can also be refugia for particular species duringlong droughts, floods or fires. Habitats considered under HCV 1.4 share in common the

trait that their disappearance would have a negative impact on wildlife populations infar greater proportion than expected given the extent of the habitat itself. If HCV 1.4exists in a MU, management activities must guarantee that the function of thesespecial habitats will persist and that access to these habitats will be maintained.

HCV 2 Natural Landscapes & Dynamics

HCV 2 aims to identify key ecological properties of large natural landscapes that must

be maintained to ensure the persistence of natural ecological processes therein. Thisis achieved first by identifying large natural landscapes and second by developingmanagement to maintain the ecological interconnections and species movementscritical to the function of natural areas.

The original HCV Toolkit recommended 50,000 ha as a minimum size criterion for alarge landscape level forest under HCV 2. This threshold did not consider ecological

type, shape of the area, or its potential importance to landscape function; landscapeproperties were considered indirectly. In the revised Toolkit, the 50,000 ha criterion is

no longer used. Instead, HCV 2 aims to identify and protect natural landscapes that (i)possess a core area far from the landscape edge wherein natural processes can besustained and (ii) have a diversity of natural ecosystem types and a high degree ofconnectivity among them across which the flow of materials, energy and organismsoccurs freely.


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HCV 2.1 Large Natural Landscapes with Capacity to Maintain Natural EcologicalProcesses and Dynamics

This HCV aims to identify and protect areas of a natural landscape where naturalecosystem processes occur and have the potential to persist for the long-term. Thekey to achieving this is the identification and protection of core area(s) within a

landscape, which are essential for guaranteeing the continuation of ecologicalprocesses unperturbed by edge effects and fragmentation. The definition of alandscape with a core area is a forest block (or other natural landscape mosaic) withan internal core >20,000 ha surrounded by a natural vegetation buffer of at least 3 kmfrom the forest edge. The management goal of HCV 2.1 is to guarantee that the corearea and associated buffer zone are maintained as forest or other natural vegetation.

HCV 2.2 Areas that Contain Two or More Contiguous Ecosystems

Areas supporting a diversity of ecosystems support great numbers of species and havehigh capacity to sustain them for the long term. The maintenance of ecosystem types,

especially those co-occurring within a single landscape, is a major goal of local

conservation, because it guarantees the movement of species among ecosystems andthe flow of materials and energy in the face of environmental changes like fluctuatingfood availability, extreme weather and changing climate. This HCV aims to identify

landscapes that contain multiple ecosystem types, to protect their core areas and tomaintain connectivity among these types.

HCV 2.3 Areas that Contain Representative Populations of Most NaturallyOccurring Species

The persistence of a species in the long-term requires maintaining habitat of sufficientquality and extent for population viabilty. Although the area of habitat required tomaintain a viable population varies greatly among species, it is a fact that large,

unfragmented areas with a diversity of ecosystem types have higher potential tosustain a variety of species in the long term than areas that are small, fragmented andwith few ecosystem types.

To identify areas that contain representative populations of most naturally occurring

species, HCV 2.3 employs several proxies. These include landscapes with populationsof higher predators of different taxa (e.g., tigers, leopards, and eagles) or low densityfar ranging species (e.g., orangutans and elephants) that require large areas to persistbut are readily surveyed. HCV 2.3 has the objective of identifying landscapes with

potential to sustain representative populations of naturally occurring species andensuring that management activities maintain or enhance this potential. In theassessment of HCV 2.3, it is essential to consider areas outside the MU to understand

potential interactions among populations of species and the ecosystems they dependupon inside and outside the MU.

HCV 3 Rare or Endangered Ecosystems

The objective of HCV 3 is to identify and delineate ecosystems within a landscape that

are naturally rare (e.g. karst forest) or endangered because of changes in land cover


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caused by humans. Management actions should ensure that natural ecologicalprocesses throughout a rare or endangered ecosystem especially distinctive featuresof it are maintained.

To determine if an ecosystem is rare or endangered, an evaluation is made comparingthe historical, current and expected future extent of the ecosystem within the

physiographic region where it occurs. If within a single physiographic region anecosystem has declined in extent by 50% or more, or if it is expected to decline by>75% under future scenarios of forest conversion, then the ecosystem is considerendangered under HCV 3. If, as a result of natural factors or human intervention, anecosystem constitutes less than 5% of a physiographic region, then the ecosystem isconsidered rare under HCV 3. Although a large proportion of natural land ecosystems

in Indonesia are forest ecosystems, other aquatic ecosystems such as lakes and openswamps or marshlands are also be considered.

HCV 4 Environmental Services

The purpose of HCV 4 is to identify areas important for the protection of hydrologicalfunction and maintenance of a watershed5. It is intended to protect both the quantityand quality of water, as well as prevent landslides, erosion, sedimentation and floods.

HCV 4 also aims to control the spread of fires in forest or other areas.

HCV 4.1 Areas or Ecosystems Important for the Provision of Water andPrevention of Floods for Downstream Communities

Land use activities or forest use in a watershed often results in the degradation ofland. Sometimes this causes a disturbance in the water cycle. The main parties thatfeel consequences of this degradation are downstream communities. Land cover

consisting of forest in good condition functions to regulate water downstream. If aforest area is found to play a role in the production of clean water or to controlflooding in downstream communities, then it possesses HCV 4.1.

In addition to watersheds and their downstream communities, there are several land

and forest ecosystems that have extremely important hydrological function andrequire special attention. Such ecosystems referred to by HCV 4.1 include cloudforest, ridge line forest, riparian ecosystems, karst forest, and a variety of wetlandecosystems including peat swamp (especially swamp that is still forested), freshwater

swamp, mangrove forest, lakes, and grass swamps. Ideally, HCV 4.1 areas would be

protected from operations. However, if exploitation is carried out,then it must bemanaged in such a way that guarantees maintenance of the water catchment and

its hydrological function.

5A watershed is a hydrological unit. It is an area defined by high land (often ridges) dividing

two areas drained by different river systems, wherein rainfall flows downstream to small riversand then to larger rivers and so on until it flows into a lake or the ocean. Depending ontopography of an area, a watershed may be divided into tens or hundreds of sub-watersheds.


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HCV 4.2 Areas Important for the Prevention of Erosion and Sedimentation

Erosion and sedimentation have ecological and economic consequences important at

the landscape scale. Surface erosion causes the loss of topsoil, which in turn decreasesthe productivity of the land. Morpho-erosion like landslides or the creation of ravinesreduces the area of productive land, damages economic infrastructure and increases

sediment loads. Under natural conditions, the rate of soil erosion is approximatelyequal to the rate of soil formation. In disturbed environments, accelerated erosion isextremely destructive and bears high cost in time and money to control it.

Among factors that affect erosion rates, those which can be fully controlled by humansare land cover and soil conservation practices. Natural forest land cover is much

better than non-forest at reducing erosion levels, due in large part to a closed canopy,complex understorey and surface leaf litter protecting the soil.

HCV 4.2 areas are forest or other areas where surface erosion risk is deemedunacceptably high. Any operations carried out by management in HCV 4.2 areas must

be done with extreme caution to avoid erosion or sedimentation.

HCV 4.3 Areas that Function as Natural Barriers to the Spread of Forest or

Ground Fire

Forest fires in Indonesia are a serious problem yet to be fully resolved, thoughprogress has been made. Forest fire events in 1982-1983 destroyed 2.4-3.6 million haof forest in East Kalimantan. Since then, forest fires continue to occur in almost all

regions of Indonesia, especially in Riau, Jambi, South Sumatera, Central Kalimantanand West Kalimantan in 1987, 1991, 1994, 1997-1998, and 2003 6. It has become clearfrom these events that biophysical factors play an extremely important role helping tocontrol fires.

Forested regions and wetlands can prevent the spread of fires and are criticallandscape features in fire prone areas. An area with biota or other properties capableof deterring the spread of large scale forest or ground fires is considered HCV 4.3.Several natural forest types in good condition have this physical characteristic, as do

some non-forest ecosystems such as deforested peat lands with a functionally intacthydrological system, freshwater swamp, other wetlands and green belts.

HCV 5 Natural Areas Critical for Meeting the Basic Needs of Local People

Humans require an assortment of items and services to meet their needs. Such needscan be separated into basic and supplementary items. A natural forest or other

vegetation type that plays an important role in helping to meet the basic needs of alocal community is considered HCV 5. Basic needs are defined as:

a. Food

6Data from the Indonesian Department of Forestry, 2003


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b. Waterc. Clothingd. Materials for building and tools

e. Firewoodf. Medicinesg. Fodder for livestock

Many kinds of natural ecosystems, including forests, bring important benefits to localcommunities, and in some cases are the basis of local livelihoods. However, cash isalso needed to meet needs that nature cannot provide (e.g. for tools, education,medical treatment etc.). The desire for cash frequently causes local communities tomanage and use natural resources in a non-sustainable fashion. For this reason, HCV 5

includes a provision for natural resource exploitation with the purpose of obtainingcash if (i) the cash will be used to fill basic needs of the family, and (ii) there is anindication that exploitation is sustainable. Use of forests or other natural ecosystemsfor the purpose of making money at a commercial scale is outside the scope of HCV 5.

It should be stressed that areas considered HCV 5 and 6 (see below) are limited not

only to areas over which communities claim ownership, but may also include areaswhere local people demonstrate traditional use rightsas well As such, an areadelineated as HCV 5 or 6 can be larger or smaller than area(s) claimed to be owned by

a community in fact, there can be no spatial connectivity at all. The assessment anddocumentation of local community use rights and ownership claims must be assessedas part of HCV 5 based on direct consultations with communities in their area.

HCV 6 Areas Critical for Maintaining the Cultural Identity of LocalCommunities

HCV 6 has the goal of identifying areas important for maintaining the cultural identity

or unique characteristics of a local community. The inter-connections of a communitywith an area can take the form of ideas, concepts, norms, values, activities andactivity patterns, as well as links to natural environments, resources or other objectsthat influence collective behavior and/or define a communitys relationship with thearea.

The term culture in the revised Toolkit refers to a set of beliefs and norms sharedby a group of people or a community, and may encompass shared values, language,knowledge, as well as material objects. The term local community describes a group

of people who live in the same area, interact with each other, and share a commoninterest and set of values. In practice, a local community in HCV 6 is a group of peoplewho live in the same area, often with access to forest or other natural ecosystems,

and who share a communication network, views on natural resources, and a spiritualor ethical relationship with their shared surroundings.

Cultural identity refers to the identity that emerges from a group of individuals (acommunity) occupying a specific area. This identity is based on shared background andhistory, as well as shared interpretation of the local environment and naturalresources. An area important for cultural identity is one to which the culture of local

or traditional communities is tightly linked. Local communities often have a special


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knowledge or local wisdom regarding use of natural resources. They have norms, rules,or traditional laws linking their lives and their use of natural resources. They alsodemonstrate a tendency toward collective respect of ancestral norms regarding

resource use. In such cases, the interaction between the community and the naturalenvironment is a from of tradition, with the result that the two cannot be separatedwithout disturbing the way people live and their balance with the environment.

Wherever cultural identity of a community or sub-group thereof is linked to specificareas or landscape features, HCV 6 is present. Several examples of such groupsinclude: Kasapuhan Ciptagelar in Banten; Samin in Central Java; Tengger in East Java;Anak Dalam, Orang Rimba, and Mentawai in Sumatera; Wana, Kampa, and Mori inSulawesi; Dayak in Kalimantan; and Asmat and Dani in Papua.


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CHAPTER 4

THE HCV ASSESSMENT PROCESS

4.1 Overview

The HCV assessment process7is based on a series of steps that can be grouped into

five major phases: Study preparation (preliminary assessment); Primary data

collection; Analysis and mapping; Preparation of reports and recommendations; andConsultation with relevant parties regarding the outcome of the assessment (Figure4.1).

7The phrase HCV assessment process used in this English translation refers to the process ofHCV identification only, and does not include the steps of monitoring and management.


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Figure 4.1. Flow chart depicting the HCV assessment process.

Secondar Data Collection

Secondary Data Analysis

No HCVF

DATA COLLECTION

Primary data analysis andHCVF identification

HCVF mapping

Presentation and review

Field data collection andground truthing

Final Report

REPORTING AND

RECOMMENDATION

DEVELOPMENT

Secondar Data Collection

Secondary Data AnalysisSTUDY PREPARATION

Primary data analysis andHCVF identification

HCVF mapping


Field data collection andground truthing

Determine data collectionmethod

ANALYSIS AND MAPPING

Final Report


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4.2 Study Preparation / Preliminary Assessment

Goals of the study preparation/preliminary assessment phase are to compile and

analyze secondary data, and outline the approach and methods to be used for fullassessment of an area. Compilation of secondary data refers to the gathering of pre-

existing information (social, cultural, economic, biodiversity, biophysical etc.)concerning the area to be assessed. These data may take the form of research reports,

statistical reports, demographic profiles, maps, on-line databases or audio-visual dataamong others. Such data will be pulled together from various sources, including thecompany representing the management unit, government bodies, academicinstitutions, NGOs, private organizations, local communities and the internet.

After available secondary data have been collected, the next step is to verify andanalyze the data (including preliminary mapping of the assessment area andsurrounding landscape). Data verification at this stage focuses mainly on checking theaccuracy and validity of spatial information, including socio-cultural aspects of the

area, such as maps of local communities and population densities. Data are analyzed

to form a general picture of the study area and to assess the likelihood of differentHCVs occurring in the area. These preliminary analyses are the basis for determiningdata collection methods in the field during full assessment. The final step in studypreparation is to identify gaps in data needs and to develop methods for collecting

primary data in the field. Field methods will need to be developed for collection offlora, fauna, and socio-cultural data, as well as verification of preliminary maps.

4.3 Primary Data Collection

Primary data collection refers to the collection of data in the field (i.e., study area).

This is done using the methods decided upon in the Study Preparation phase. Primarydata are the basis of all analyses and mapping that takes place in the steps that follow

to produce a final report. Primary data collection also serves the vital purpose ofcrosschecking secondary data and ground checking the accuracy of preliminary maps.

4.4 Analysis and Mapping

Analysis and mapping represent the most critical phase in the HCV assessment process.At this stage, a comprehensive analysis of secondary and primary data is conducted to

make judgment about the presence and distribution of HCVs. Mapping and relatedanalyses cover physical and spatial features of the area, flora and fauna, andsociological and cultural dimensions. Outputs from this analysis are used to identifyareas containing one or more HCVs and map such areas using a geographic informationsystem (GIS).


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4.5 Preparation of Reports and Recommendations

During this phase, initial results of the full assessment are presented to relevant

stakeholders in writing and verbally in meetings. Results from the field and subsequentanalyses are presented to and discussed with stakeholders. As needed, corrections to

data collection are made to improve accuracy of preliminary findings based onsecondary and primary data (especially for socio-cultural dimensions). Findings from

the initial report and consultations are then put forth in a draft final report detailingbackground of the study, goals, a description of the area assessed, methods, results ofthe study, discussion of HCVs present and threats to their maintenance and descriptionmanagement recommendations to maintain or enhance HCVs.

4.6 Peer Review

Peer review describes a process whereby a piece of intellectual work (in this case, an

assessment report) is critically examined by an expert in the field of concern (otherthan the authors). In the academic world, peer review of a colleagues work is done toensure that it meets expected standards of the discipline and follows general scientificrigor. The peer review of an HCV assessment report involves a multi-disciplinaryanalysis and therefore requires an individual or team of individuals with expertise in

multiple areas. Examples of appropriate peer reviewers in Indonesia include HCVpractitioners themselves, relevant experts from the Indonesian Institute of Sciences(LIPI), academic institutions and non-government organizations active field of theenvironment, biodiversity or sociology.

A peer review is done while the report is still in draft form so that the final reportreflects peer review comments. This helps to ensure the report is comprehensive,

factual, and meets accepted standards of the various disciplines covered in the report.In theory, peer review can also be conducted on a finished report, but generally this is

done to assess alternative options for managing HCVs that have been identified in areport, not to critique its quality or content.


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CHAPTER 5

STAKEHOLDERS

5.1 Stakeholder Involvement in the Assessment

The HCV assessment process involves many parties in each stage, includinggovernment, the management unit (a company or a local group), local communities,

the assessment team, private and non-governmental organizations (NGOs) anduniversities/research institutions. The involvement of multiple parties andperspectives is necessary, because each has different roles or responsibilities in the

assessment and ultimately in management. This is described below and in Tables 5.1and 5.2.

5.2 Government

The government plays an important legal role in the HCV assessment process asregulations, laws, and policies can influence both the actual assessment andimplementation of the assessment results (by recognizing and permitting the resultingmanagement recommendations). The government also has an important role in makingnecessary data available, especially in the study preparation phase when secondary

data concerning physical and spatial aspects of the area; biodiversity; and social,economic and the cultural aspects of local communities are being collected.

5.3 The Management Unit (Company or Government)

The company, as the party with legal permission to manage a particular area, oftenfunctions as a main source for secondary data collection during the studypreparation/preliminary assessment phase. Some useful data sources obtained through

them include information about the company operations, history and activities (i.e.,

the company profile); the environmental impact assessment (AMDAL in BahasaIndonesia) and social assessment studies; reports from community developmentprograms (e.g., Bina Desa in forestry HPH); and monitoring documents, research

reports or assessments done previously by consultants, academic researchers, studentsor other organizations.

Officials and other staff of the MU are usually heavily involved during primary datacollection in the field, to study the areas physical environment, flora, fauna, and

local social, economic and cultural characteristics. Company staff can participate as a


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member of the research team during data collection, for example, contributing dataon physical conditions, flora and fauna, or playing a facilitative role during socio-economic and cultural data collection.

The MU also plays an important role during reporting, providing input on preliminaryfindings and, occasionally, interpretation. This input is usually provided once the

initial full assessment results are presented to the company in a written report andlive meeting.

Finally, companies are responsible for making available results of an assessment in apublic and transparent fashion (either the full report or a public summary thereof),and implementing the report recommendations. The development of management and

work plans to maintain or enhance any HCVs present in the MU also depends criticallyon input from the MU. In some cases the MU may even take the lead in developingsuch plans taking into account recommendations from the assessment team.

5.4 Local Communities

The term local community refers both to people who live inside and around theassessment area as well as people in areas off-site that could be affected by

management operations. The local community is actively involved in several stages ofan HCV assessment, mainly in the collection of primary data and reviewing the resultsof the assessment to ensure accuracy (through presentation and discussion duringpublic consultation). Some of the primary data from the field (floral, faunal, social,economic and cultural data) can be obtained through interviews and group discussions

with the local community. Interviews and discussions with key individuals from localgovernment (the sub-district head and staff), religious leaders (e.g., priests, Muslim

scholars), district healthcare workers, midwifes, and a representative sample ofpeople from different ethnic groups within the community or the community at large

should be prioritized (and done in accordance with an approach set out during the pre-assessment phase). Local communities should also verify the assessment results andthe management recommendations put forth by the assessment team. Assessmentfindings, especially those related to HCVs 5 and 6, should be accepted by the localcommunity as a fair representation of reality.

5.5 Non-government Organizations (NGOs)

The involvement of NGOs as partners and observers should be encouraged as much aspossible throughout the HCV assessment process. NGOs are involved in the studypreparation phase as a source of secondary data, in the field work phase to facilitateprimary data collection, in the report development stage as an active participant inpublic consultations to review assessment results and provide feedback, and overall to

help ensure transparency of the assessment process and involvement of the widestpossible range of relevant parties.


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5.6 The Assessment Team

The assessment team comprises experts with skills in identifying HCVs. The job of the

assessment team is to determine if an assessment area contains one or more HCVs,with reference to criteria put forth in this Toolkit. The primary responsibility is toconduct an assessment that is objective, transparent, understandable and accepted by

the widest possible range of stakeholders involved. To the maximum extent possible,this involves a wide range of relevant parties during each phase. The assessment teammust be neutral in its assessment and determination of HCVs, making decisions andrecommendations in accordance with the facts discovered and avoid making subjectivecompromises with any of the parties involved.

It is the responsibility of the assessment team to: produce a comprehensive reportconcerning the area assessed; provide input to the company concerning the structuringof management plans for the area and provide clear explanation for the determination

of HCVs deemed present or not; and ensure that input obtained from all parties duringthe stages of presentation, review and public consultation are incorporated into thefinal report. The assessment team is the most important party in the assessmentprocess, functioning as a motor to drive each phase and a supervisor to ensurecredibility of the process.

In the study preparation phase, the assessment team is the party responsible for thecollection and analysis of secondary data for the purpose of forming a general pictureof the area to be assessed, data that provide the basis for determining methods to beused when collecting primary data.

Primary data collection (during field work) is carried out and coordinated by the

assessment team with the goal of identifying the current condition of the assessmentarea and verifying the secondary data previously collected, as well as preliminary

analyses based on these data. In this phase, the assessment team works side-by-sideappointed company staff and the local community.

The analysis and mapping phase is the complete responsibility of the assessment team.In this phase, all available primary (and secondary) data are analyzed by appointed

experts with guidance from this Toolkit (Chapter 8) and the leader of the assessmentteam. Results of the analysis are then put forth in maps with the help of mapping andGIS experts. Based on these outputs, the assessment team writes an assessment reportthat is presented to the company. In this phase, review(s) of the report provided by

other parties (NGOs, universities/research institutions, and/or practitioners) is also

conducted at this stage, with feedback incorporated into a final report. This finalreport details both assessment findings and recommendations for consideration in thecompanys effort to develop a management plan for maintaining HCVs present.

The final assessment report must be presented (in writing and/or in person) tostakeholders involved in the assessment process and made available to the generalpublic to ensure transparency and public review of the assessment results.


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It should be stressed that the assessment team does not have the right to make finaldetermination the distribution of the HCV or to make definitive statements of whatmanagement is required to maintain or enhance HCVs present. Rather, the assessment

team is one party to be involved in the development of HCV management plans afterthe report is complete and made available to the public. Managementrecommendations made by the assessment team should be seen as concrete inputs to

the process, not necessarily the final word. Implementation of the HCV concept by aMU is voluntary, and as such the responsibility of the assessment team is limited toproper identification of HCVs and developing management recommendations, whereasthe MU is responsible for management and monitoring with involvement from outsidestakeholders including NGOs, local communities and/or government.

5.7 Universities and Research Institutions

Universities and research institutions can be involved directly or indirectly in the HCV

assessment process. They may be involved as members of the assessment team, in theprocess of peer review, or by providing corrections and feedback during presentationand discussions of assessment results. Universities/research institutions can beinvolved indirectly as sources of secondary data (especially during the studypreparation phase), by providing research reports, papers and theses/dissertation

relevant to potential HCVs, the HCV assessment process and the area being assessed.

5.8 Public Consultation

The process and the results of a HCV assessment are put forth in a final report thatmust be approved through a public consultation and disseminated to all stakeholders.

Transparency through broad dissemination of the assessment results is necessary inorder to receive feedback from a broader group of stakeholders. Their feedback onthe assessment results and recommendations given to the company about the creationof a HCV management plan is of particular importance.


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Table 5.1. Stakeholder involvement in an HCV assessment

No. Stakeholders Involvement Role

Government Institution Provide data on

Source of secondary

dataduring StudyPreparation/Pre-

assessment phase

1. Climate/rain maps

2. Area/land system maps3. Topography/ridge maps4. Land cover maps5. Watershed/hydrology

maps

6. Administrative/social,economic and culturalmaps

7. RTRWK/TGHK maps8. Biodiversity maps

9. Social, economic andcultural data

10.Demographic andpopulation statistical

data11.Government policy12.Village livelihood data

1.

1. BMG2. PPT Bogor3. Bakosurtanal/Ditop/Jantop4. Baplan

5. Bakosurtanal, BPDAS

6. Local government,Provincial government

7. Provincial Bappeda8. BKSDA, Dishut, research

institutions9. Dinsos, Dinas Pariwisata

10.BPS

11.Dishut, Distamben, Disbun,local government

12.Village officePresenting assessment

results to the public

Provide input on the

assessment results and draftreport

Initial assessment(Study Preparation/Pre-assessment phase)

Provide data and resourcesfor the assessment, such ascompany profile,

Environmental ImpactAssessment (AMDAL) or anyof the companys

community developmentreports

Field data collection

Assisting the assessmentteam in collecting field data(as part of the assessmentteam or as a facilitator)


To provide comments onassessment findings throughreview of the initial draft

report

2.Company undergoingassessment

Result presentation to

public

Provide assessment results

in a transparent manner

Field data collection Provide information to theassessment team

3. Community Result presentation topublic

Provide input on theassessment results and draftreport

Secondary data analysisProducing a general pictureof the assessment area

Determining datacollection methods

Select field assessment sitesand methodology


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No. Stakeholders Involvement Role

Secondary data analysisProducing a general picture

of the assessment area

Determining data

collection methods

Select field assessment sites

and methodology

Field data collectionTo gather field data todetermine real conditions inthe assessment area

Analysis and mappingTo identify HCVAs, non-HCVAs, or potential HCVAs

Develop final reportDocument the assessmentand its results

4. Assessment Team

Result presentation topublic

Present assessment resultsin a transparent manner


Provide data

5.Non GovernmentOrganizations Result presentation to

public

Provide input on the

assessment results and draftreport


Provide data

Presentation and reviewProvide input on theassessment results and draftreport

6.Universities/ ResearchInstitutions

Result presentation to

public

Provide input on the final

assessment report


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Table 5.2. Stakeholders involved at each stage in the assessment

Related Stakeholders

No. Assessment Stages GovernmentInstitutions

Companyundergoingassessment

AssessmentTeam

NGOsUniversities/

ResearchInstitutions

Community

1

Study preparationa. Initial assessmentb. Secondary data collection

and initial mapping analysisc. Determining field data

collection methodology

! !!

!

! !

2. Field data collection ! ! !

3. Analysis and mapping !

4.

Report and recommendationdevelopment

a. Report presentation andreview

b. Final report development !!

!

!

5. Result presentation to public ! ! ! ! ! !


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CHAPTER 6

PREPARING FOR HCV FIELD ASSESSMENT

The HCV field assessment requires careful preparation to ensure effective datacollection activities in the field. The thoroughness, accuracy and quality of datacollection depends on appropriate preparation.

Preparation for assessment activities in an area involves putting together anassessment team, collection of secondary data, preliminary analyses and mapping,preparation for direct stakeholder consultations in the field and outlining a plan for

field data collection (Figure 6.1).

6.1 Assembling the Assessment Team

As explained in section 5.2, the assessment team comprises experts with the skillsets needed to identify HCVs in accordance with criteria outlined in this Toolkit. Ingeneral, team members cannot be chosen based on a uniform standard applied toall assessment sites, as the expertise required will differ with the conditions and

size of the area being assessed.

At a minimum, the assessment team should have 5-6 members who are experts inflora, fauna, landscape ecology, biophysical environment (especially soils/geologyand hydrology), sociology and culture/anthropology. In addition, depending on the

type of MU operations (i.e., logging, plantations, mining), the assessment teamshould also include technical experts from appropriate fields as needed (e.g., peatmanagement, GIS modeling etc.)

Although members of the assessment team may also originate from the MU isteldbeing assessed, outside HCV experts should also be commissioned to ensure

objectivity and neutrality in the assessment. For example, independentconsultants, academics, professors, researchers and NGOs with specializedexpertise can be recruited. If available, community members with relevant

expertise can also be recruited as members of the assessment team.

This team of experts can be aided by outside or local assistants to implementtechnical field activities over a broader area (e.g., sample collection).

6.2 Secondary Data Collection

Secondary data collection takes place early in the preliminary analysis. This step is

extremely important because it provides an understanding of field conditions and


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also provides information that will shape methods to be used during the fieldassessment.

During this phase, pre-existing data concerning the study area are collected. Thesedata include biophysical aspects of the area, biodiversity, ecosystem services,social and economic conditions and local culture. The data can be sourced fromvarious documents obtained from the company, government, research institutions,

universities, and NGOs, as well as from published literature and maps (especiallymaps based on the most recent Landsat images).

6.2.1 Biophysical Data

Biophysical data about the area can be obtained from various sources, among themare maps, research reports, documents outlining the MU setting/profile, and othersupporting documents, like environmental impact assessment (AMDAL) reports. Map

data are needed to provide a physical picture of the assessment area and can beobtained from various parties, including the MU, a number of government bodies,and consultants. Maps required include: biophysical maps; ecosystem maps; floraand fauna range maps; administrative maps (of the county, district, and province);

socioeconomic maps; ethnic/cultural and linguistic maps; demographic, road,waterway, spatial planning, topographic, soil and land cover maps; and RePPProTmaps. (A list of maps needed and their potential sources are listed in Table 6.1.)Other biophysical data concerning villages, climate and soils will also be needed.

Understanding the accuracy and resolution of available maps is an issue of specialconcern. Frequently multiple maps of a given variable/type are needed to compare

data from different sources and to ensure that the most accurate data availableare being used.

Table 6.1. Map requirements for HCV assessment at different mapping scales

Landscape Management Unit

No. Map TypeScale Source Scale Source

Physical data

1 Climate/rain1 :

250.000RePPProT, BMG

1 :

250.000BMG, PPT Bogor

2 Area/land system1 :

250.000

RePPProT, PPT

Bogor

1 :

250.000PPT Bogor

3 Topography/slope1 :

250.000

RePPProT,

Bakosurtanal

1 :

250.000Bakosurtanal/Field

4Land cover/land

use data

1 :

250.000

Landsat, Baplan,

etc

1 :

250.000

Landsat, Baplan,

etc

5 Hydrology/DAS1 :

250.000

DEM-

Nasa/Bakosurtanal,BPDAS

1 :

250.000

Image Radar

/BPDAS

Legal Data

1 RTRWP1 :

250.000Provincial Bappeda

2 RTRWK1 :

100.000Regency Bappeda

3 IUPHH1 :

250.000Baplan

1 :

100.000

Regency Forestry

Service


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Landscape Management Unit

No. Map TypeScale Source Scale Source

4 IUPHTI1 :250.000

Baplan1 :100.000

5 Plantation 1 :250.000

ProvincialPlantation Service

1 :100.000

Regency PlantationService

6 Mining

7 Industry

Social Economic and Cultural Data 1 : 250.000

1ProvincialAdministration

1 :250.000

Provincial Bappeda

2RegencyAdministration

Regency Bappeda

3DistrictAdministration

District/RegencyBappeda

4 Housing Position

1 :

250.000

Village/Regency

Bappeda

5 Culture Map1 :250.000

Biodiversity

1 Flora1 :

250.000variable

2 Fauna1 :

250.000variable

6.2.2 Biodiversity Data

Data concerning biodiversity can be gathered from various sources including the

IUCN Redlist Data Book, CITES, Indonesian Government Law Number 7 of 1999, andseveral other relevant laws and regulations. It is also important to find and collectdata from biodiversity researchers who have worked in the area prior to the HCVassessment. Many secondary data sources concerning HCVs 1-3 are also available in

Digital Appendices associated with Chapter 8.

6.2.3 Ecosystem Services Data

Required data to assess ecosystem services (watershed protection, erosion,sedimentation, and capacity to act as a firebreak) can be obtained from reportsdetailing previous investigations and the supporting maps included in such reports.Maps and other data needed are those concerning annual rainfall for the area,

waterways, watersheds, topography, geology, erosion potential, road systems, landcover, administration boundaries, culture and any supporting maps, such as thoseused for regional spatial planning. Some places to source such maps are listed inTable 6.2. These maps and other data will help provide a preliminary picture of

ecosystem services, and threats to them, in the area to be assessed.

Table 6.2. Types and sources of map data for HCV 4

No Map Type Resource

1 Topography/ Earth-surface Bakosurtanal, Cibinong, Bogor

2 Geology Geology development and research


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No Map Type Resource

center (Puslitbang), Bandung

3 Land Map Puslitan, Bogor

4 Hydro-geology mapEnvironment Planning Geology,Bandung

5 Forest and water areas Planology body, Ministry of Forestry6 Potential fire

Directorate of Forest Fire, PHKA,Ministry of Forestry

7 Isohyets BMG, Jakarta

8 Spatial planning Province and regency

9 RLKT patternBalai Pengelolaan DAS/ ProvincialWatershed Management Body

10 RTL RLKTBalai Pengelolaan DAS/ ProvincialWatershed Management Body

11 Erosion potential map Tropenbos International-Indonesia8

6.2.4 Socio-economic Information

Preliminary data needed to build a basic picture of the social and economicconditions of local communities can be gathered from several sources, includinglocal government agencies and departments concerned with sociology anddemography, regional statistics and development planning. Data that can beobtained from these agencies include regency sta

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